Violation Tracker Parent Company Summary

Parent Company Name: 
Waddell & Reed Financial Inc.
Ownership Structure: 
publicly traded (ticker symbol WDR)
Headquartered in: 
Kansas
Major Industry: 
financial services
Specific Industry: 
investment management
Penalty total since 2000: 
$94,115,961
Number of records: 
8
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$94,115,9618
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$94,115,9618
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

Waddell & Reed, Inc.

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Waddell & Reed, Inc. investor protection violation 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. investor protection violation 2006 SEC $50,000,000
Waddell & Reed, Inc. investor protection violation 2005 MULTI-FIN $18,000,000
Waddell & Reed, Inc. investor protection violation 2016 NH-BSR $900,000
Waddell & Reed, Inc. investor protection violation 2006 MO-SEC $172,161
Waddell & Reed, Inc. investor protection violation 2005 MT-SEC $25,000
Waddell & Reed Inc. investor protection violation 2008 OK-SEC $10,000
Waddell & Reed, Inc. investor protection violation 2003 FL-OFR $8,800
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